Unclaimed Profile

Richard Seth Rosenthal

TD PRIVATE CLIENT WEALTH LLC·NEW YORK, New York

SIE, Series 27, Series 99TOClean recordTD PRIVATE CLIENT WEALTH LLC

1 VANDERBILT AVENUE, NEW YORK, NY 10017CRD# 1670035Firm CRD# 164484

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Richard Seth Rosenthal · NEW YORK, NY

Registration

CRD #1670035 · TD PRIVATE CLIENT WEALTH LLC

Brand Profile

Not yet started

Registrations & Exams

FINRA examinations passed

SIE

Series 27

Series 99TO

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

TD PRIVATE CLIENT WEALTH LLC

CRD 164484 · SEC 801-77771

AUM

$4.8B

Regulatory assets under management

Employees

637

9,134 client accounts

Services offered by TD PRIVATE CLIENT WEALTH LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Market timing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at TD PRIVATE CLIENT WEALTH LLC →

Introduction

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Frequently Asked Questions

What services does Richard Seth Rosenthal offer?

Richard Seth Rosenthal specializes in Financial Planning, Investment Management, Wealth Management, Fee-Only Advisory. Contact their office in NEW YORK, New York for a consultation.

What are Richard Seth Rosenthal's credentials?

Richard Seth Rosenthal is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Richard Seth Rosenthal located?

Richard Seth Rosenthal is based in NEW YORK, New York, working with TD PRIVATE CLIENT WEALTH LLC. Their office serves clients in the NEW YORK metropolitan area and surrounding communities.

How does Richard Seth Rosenthal charge for services?

Richard Seth Rosenthal's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is TD PRIVATE CLIENT WEALTH LLC?

TD PRIVATE CLIENT WEALTH LLC has approximately 637 employees and manages $4.8B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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